THE CORPORATIONS LAW

CHAPTER 7 - SECURITIES

PART 7.3 - PARTICIPANTS IN THE SECURITIES INDUSTRY

Division 1 - Dealers and investment advisers and operators of managed investment schemes

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SECTION 791   ANNUAL STATEMENT OF LICENSEE  

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791(1)  [Licensee to lodge prescribed statement]  

The holder of a licence must lodge, in respect of each year or part of a year during which the licence is in force, a statement in the prescribed form that:

(a)  sets out the number of persons who, when the statement is lodged, hold proper authorities from the licensee; and

(b)  contains any other prescribed information.

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791(2)  [Former licensee to lodge prescribed statement]  

A person who has been, but is no longer, a licensee shall lodge, in respect of each year or part of a year during which the licence was in force, a statement in the prescribed form that:

(a)  sets out the number of persons who, when the person last ceased to be a licensee, held proper authorities from the licensee; and

(b)  contains any other prescribed information.

 

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